reporting in the event of the acquisition or disposition of shares issued by a business or of convertible securities, please provide details of the acquisition or disposition that gives rise to this reporting
acquisition or disposition of shares issued by a business or of convertible securities, please provide details of the acquisition or disposition that gives rise to this reporting obligation. (If such
dated 3 August 2009, the SEC Office hereby issues this Notification with details as follows: Clause 1 This Notification shall come into force from 1 April 2018. Clause 2 The Notification of the Office of
together with supplementary documents as specified in the notification of the SEC. Clause 13 In applying for license, the application shall be filed in the following periods: (1) in case of the applicant
indicated in the documents published for dissemination of mutual fund rating information, containing essential statement that the information on mutual fund rating should be used only for supplementing the
appearing in the documents and evidence used for opening of the account, including identification of the customer’s identity, source of funds used for derivatives trading and the real beneficiary of the
derivatives trading account shall be prepared in written with steps and procedures sufficient to ensure that the customer is the same person as the one appearing in the documents and evidence used for opening
of this Notification are as follows: (1) undertaking business professionally, as specified in details in Chapter 2; (2) management arrangement and operating systems, as specified in details in Chapter